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Monthly Archives: November 2019

SEC Says Co. Violated Whistleblower Protection Rules By Impeding Investors

The U.S. Securities and Exchange Commission recently amended a court Complaint to add charges that a company and its owner violated SEC whistleblower protection rules.  (For past cases in which the SEC brought actions against companies for violating whistleblower protection rules, see my earlier post here.) The recent case is SEC v. Collector’s Coffee, Inc. [...]

November 25th, 2019|Uncategorized|

DB Whistleblower Award Denial Highlights The Importance Of Having Good Counsel At The Start

Last week, in a full written Opinion, a U.S. Court of Appeals upheld the U.S. Securities and Exchange Commission’s 2017 decision to deny three claimants a share of an SEC whistleblower award related to Deutsche Bank (the “DB whistleblower award”). One of the unsuccessful claimants was an individual identified in court papers as “John Doe”.  [...]

November 15th, 2019|Uncategorized|